Regulatory Consultant

0001085146-22-000467.txt : 20220202 0001085146-22-000467.hdr.sgml : 20220202 20220202161136 ACCESSION NUMBER: 0001085146-22-000467 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220202 DATE AS OF CHANGE: 20220202 EFFECTIVENESS DATE: 20220202 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Quad-Cities Investment Group, LLC CENTRAL INDEX KEY: 0001741426 IRS NUMBER: 272935760 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18795 FILM NUMBER: 22583741 BUSINESS ADDRESS: STREET 1: 5177 UTICA RIDGE ROAD CITY: DAVENPORT STATE: IA ZIP: 52807 BUSINESS PHONE: 563-484-5000 MAIL ADDRESS: STREET 1: 5177 UTICA RIDGE ROAD CITY: DAVENPORT STATE: IA ZIP: 52807 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001741426 XXXXXXXX 12-31-2021 12-31-2021 false Quad-Cities Investment Group, LLC

5177 UTICA RIDGE ROAD DAVENPORT IA 52807

13F HOLDINGS REPORT 028-18795 N Alex Butters Regulatory Consultant 310-275-7300 /s/ Alex Butters Beverly Hills CA 02-02-2022 0 190 160145 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 446 2510 SH SOLE 0 0 2510 ABBVIE INC COM 00287Y109 503 3716 SH SOLE 0 0 3716 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 816 119365 SH SOLE 0 0 119365 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 443 1070 SH SOLE 0 0 1070 ADAMS DIVERSIFIED EQUITY FD COM 006212104 484 24932 SH SOLE 0 0 24932 ADVENT CONV & INCOME FD COM 00764C109 933 50553 SH SOLE 0 0 50553 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 1210 99729 SH SOLE 0 0 99729 ALLIANT ENERGY CORP COM 018802108 416 6763 SH SOLE 0 0 6763 ALPHABET INC CAP STK CL A 02079K305 452 156 SH SOLE 0 0 156 ALPHABET INC CAP STK CL C 02079K107 859 297 SH SOLE 0 0 297 AMAZON COM INC COM 023135106 3754 1126 SH SOLE 0 0 1126 AMERICAN TOWER CORP NEW COM 03027X100 484 1656 SH SOLE 0 0 1656 APPLE INC COM 037833100 15688 88346 SH SOLE 0 0 88346 ARES CAPITAL CORP COM 04010L103 638 30092 SH SOLE 0 0 30092 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 356 4621 SH SOLE 0 0 4621 ARK ETF TR NEXT GNRTN INTER 00214Q401 202 1703 SH SOLE 0 0 1703 BECTON DICKINSON & CO COM 075887109 200 796 SH SOLE 0 0 796 BLACKROCK SCIENCE & TECHNOLO SHS 09258G104 289 5781 SH SOLE 0 0 5781 BLACKSTONE INC COM 09260D107 717 5539 SH SOLE 0 0 5539 BOEING CO COM 097023105 346 1718 SH SOLE 0 0 1718 BRISTOL-MYERS SQUIBB CO COM 110122108 254 4068 SH SOLE 0 0 4068 BROADCOM INC COM 11135F101 220 330 SH SOLE 0 0 330 CALAMOS DYNAMIC CONV & INCOM COM 12811V105 1747 55486 SH SOLE 0 0 55486 CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT 128125101 656 33983 SH SOLE 0 0 33983 CANADIAN PAC RY LTD COM 13645T100 864 11995 SH SOLE 0 0 11995 CATERPILLAR INC COM 149123101 722 3494 SH SOLE 0 0 3494 CBRE GBL REAL ESTATE INC FD COM 12504G100 197 20131 SH SOLE 0 0 20131 CENTRAL SECS CORP COM 155123102 672 15083 SH SOLE 0 0 15083 CINTAS CORP COM 172908105 519 1171 SH SOLE 0 0 1171 CISCO SYS INC COM 17275R102 218 3446 SH SOLE 0 0 3446 COHEN & STEERS INFRASTRUCTUR COM 19248A109 680 23844 SH SOLE 0 0 23844 COHEN & STEERS QUALITY INCOM COM 19247L106 2365 129809 SH SOLE 0 0 129809 COMPASS DIVERSIFIED SH BEN INT 20451Q104 214 6984 SH SOLE 0 0 6984 CUMMINS INC COM 231021106 205 942 SH SOLE 0 0 942 CVS HEALTH CORP COM 126650100 427 4139 SH SOLE 0 0 4139 DEERE & CO COM 244199105 2551 7439 SH SOLE 0 0 7439 DIAGEO PLC SPON ADR NEW 25243Q205 369 1678 SH SOLE 0 0 1678 DIAMONDBACK ENERGY INC COM 25278X109 342 3170 SH SOLE 0 0 3170 DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 25434V302 355 12989 SH SOLE 0 0 12989 DIMENSIONAL ETF TRUST INTL CORE EQT MK 25434V203 297 10051 SH SOLE 0 0 10051 DISNEY WALT CO COM 254687106 384 2479 SH SOLE 0 0 2479 DOW INC COM 260557103 324 5718 SH SOLE 0 0 5718 DTF TAX-FREE INCOME INC COM 23334J107 144 10069 SH SOLE 0 0 10069 DUKE ENERGY CORP NEW COM NEW 26441C204 440 4193 SH SOLE 0 0 4193 EATON VANCE LTD DURATION INC COM 27828H105 492 37562 SH SOLE 0 0 37562 EATON VANCE TAX-MANAGED GLOB COM 27829C105 193 17213 SH SOLE 0 0 17213 EATON VANCE TAX-MANAGED GLOB COM 27829F108 201 18847 SH SOLE 0 0 18847 ENTERPRISE PRODS PARTNERS L COM 293792107 603 27480 SH SOLE 0 0 27480 EVERI HLDGS INC COM 30034T103 351 16437 SH SOLE 0 0 16437 EXXON MOBIL CORP COM 30231G102 347 5669 SH SOLE 0 0 5669 FERRARI N V COM N3167Y103 263 1015 SH SOLE 0 0 1015 FIRST TR DYNAMIC EUROPE EQUI COM SHS 33740D107 189 14228 SH SOLE 0 0 14228 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 734 12875 SH SOLE 0 0 12875 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 7620 374983 SH SOLE 0 0 374983 FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 33739P608 698 9541 SH SOLE 0 0 9541 FIRST TR EXCH TRD ALPHDX FD EM SML CP ALPH 33737J307 371 9226 SH SOLE 0 0 9226 FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 33739H101 1930 83705 SH SOLE 0 0 83705 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 267 2556 SH SOLE 0 0 2556 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 314 6784 SH SOLE 0 0 6784 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 829 13290 SH SOLE 0 0 13290 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 1091 17550 SH SOLE 0 0 17550 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 569 4308 SH SOLE 0 0 4308 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 2475 29277 SH SOLE 0 0 29277 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 2384 10541 SH SOLE 0 0 10541 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 1059 21529 SH SOLE 0 0 21529 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 2607 43603 SH SOLE 0 0 43603 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 1467 30662 SH SOLE 0 0 30662 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 761 30480 SH SOLE 0 0 30480 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 1498 9247 SH SOLE 0 0 9247 FIRST TR EXCHANGE-TRADED FD RBA INDL ETF 33738R704 221 4903 SH SOLE 0 0 4903 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 809 15620 SH SOLE 0 0 15620 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 3499 73028 SH SOLE 0 0 73028 FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 33741X102 268 8840 SH SOLE 0 0 8840 FIRST TR EXCHNG TRADED FD VI CBOE VEST FD DEP 33740U703 234 11000 SH SOLE 0 0 11000 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 1690 31753 SH SOLE 0 0 31753 FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 33740F888 611 23153 SH SOLE 0 0 23153 FIRST TR MORNINGSTAR DIVID L SHS 336917109 1930 54284 SH SOLE 0 0 54284 FIRST TR NASDAQ 100 TECH IND SHS 337345102 717 4096 SH SOLE 0 0 4096 FIRST TR SPECIALTY FIN & FIN COM BEN INTR 33733G109 250 61095 SH SOLE 0 0 61095 FORD MTR CO DEL COM 345370860 1395 67165 SH SOLE 0 0 67165 FREEPORT-MCMORAN INC CL B 35671D857 256 6128 SH SOLE 0 0 6128 GABELLI DIVID & INCOME TR COM 36242H104 372 13763 SH SOLE 0 0 13763 GABELLI EQUITY TR INC COM 362397101 188 26145 SH SOLE 0 0 26145 GENERAL AMERN INVS CO INC COM 368802104 215 4867 SH SOLE 0 0 4867 GOLDMAN SACHS ETF TR ACCESS INFLATI 381430362 440 7531 SH SOLE 0 0 7531 GOLDMAN SACHS ETF TR EQUAL WEIGHT US 381430438 210 2942 SH SOLE 0 0 2942 GOLDMAN SACHS GROUP INC COM 38141G104 220 576 SH SOLE 0 0 576 GUGGENHEIM STRATEGIC OPPORTU COM SBI 40167F101 377 20554 SH SOLE 0 0 20554 HARTFORD FDS EXCHANGE TRADED SHRT DURTN ETF 41653L602 507 12512 SH SOLE 0 0 12512 HOME DEPOT INC COM 437076102 773 1862 SH SOLE 0 0 1862 HONEYWELL INTL INC COM 438516106 211 1013 SH SOLE 0 0 1013 INTERCONTINENTAL EXCHANGE IN COM 45866F104 250 1825 SH SOLE 0 0 1825 INVESCO ADVANTAGE MUN INCOME SH BEN INT 46132E103 239 19585 SH SOLE 0 0 19585 INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 255 6940 SH SOLE 0 0 6940 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 388 25854 SH SOLE 0 0 25854 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 280 11082 SH SOLE 0 0 11082 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 46138J833 253 10129 SH SOLE 0 0 10129 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 46138J817 251 10222 SH SOLE 0 0 10222 INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 26 46138J635 226 8800 SH SOLE 0 0 8800 INVESCO EXCHANGE TRADED FD T RYMND JMS SB 1 46137V522 210 3339 SH SOLE 0 0 3339 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1095 6728 SH SOLE 0 0 6728 INVESCO MUN OPPORTUNITY TR COM 46132C107 682 49369 SH SOLE 0 0 49369 INVESCO QQQ TR UNIT SER 1 46090E103 1116 2805 SH SOLE 0 0 2805 INVESCO QUALITY MUN INCOME T COM 46133G107 196 14393 SH SOLE 0 0 14393 IRON MTN INC NEW COM 46284V101 255 4864 SH SOLE 0 0 4864 ISHARES INC CORE MSCI EMKT 46434G103 1065 17789 SH SOLE 0 0 17789 ISHARES TR 0-5 YR TIPS ETF 46429B747 631 5961 SH SOLE 0 0 5961 ISHARES TR CONV BD ETF 46435G102 788 8831 SH SOLE 0 0 8831 ISHARES TR CORE 1 5 YR USD 46432F859 390 7733 SH SOLE 0 0 7733 ISHARES TR CORE DIV GRWTH 46434V621 3215 57843 SH SOLE 0 0 57843 ISHARES TR CORE INTL AGGR 46435G672 589 10808 SH SOLE 0 0 10808 ISHARES TR CORE MSCI EAFE 46432F842 2108 28239 SH SOLE 0 0 28239 ISHARES TR CORE MSCI TOTAL 46432F834 885 12476 SH SOLE 0 0 12476 ISHARES TR CORE S&P MCP ETF 464287507 2101 7421 SH SOLE 0 0 7421 ISHARES TR CORE S&P SCP ETF 464287804 1752 15303 SH SOLE 0 0 15303 ISHARES TR CORE S&P TTL STK 464287150 2639 24664 SH SOLE 0 0 24664 ISHARES TR CORE S&P500 ETF 464287200 2804 5879 SH SOLE 0 0 5879 ISHARES TR CORE US AGGBD ET 464287226 1122 9832 SH SOLE 0 0 9832 ISHARES TR CRE U S REIT ETF 464288521 597 8826 SH SOLE 0 0 8826 ISHARES TR FALN ANGLS USD 46435G474 412 13743 SH SOLE 0 0 13743 ISHARES TR JPMORGAN USD EMG 464288281 1367 12535 SH SOLE 0 0 12535 ISHARES TR MORTGE REL ETF 46435G342 380 11003 SH SOLE 0 0 11003 ISHARES TR S&P 500 GRWT ETF 464287309 383 4573 SH SOLE 0 0 4573 ISHARES TR SP SMCP600VL ETF 464287879 274 2620 SH SOLE 0 0 2620 ISHARES TR TIPS BD ETF 464287176 1330 10295 SH SOLE 0 0 10295 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1046 21109 SH SOLE 0 0 21109 JOHNSON & JOHNSON COM 478160104 517 3021 SH SOLE 0 0 3021 KINDER MORGAN INC DEL COM 49456B101 567 35739 SH SOLE 0 0 35739 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 211 25229 SH SOLE 0 0 25229 LIBERTY ALL-STAR GROWTH FD I COM 529900102 721 80114 SH SOLE 0 0 80114 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 249 5353 SH SOLE 0 0 5353 MAINSTAY MACKAY DEFINEDTERM COM 56064K100 214 9844 SH SOLE 0 0 9844 MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 56167N720 2494 112172 SH SOLE 0 0 112172 MERCK & CO INC COM 58933Y105 235 3068 SH SOLE 0 0 3068 META PLATFORMS INC CL A 30303M102 1089 3239 SH SOLE 0 0 3239 MICROSOFT CORP COM 594918104 4112 12227 SH SOLE 0 0 12227 MORGAN STANLEY EMKT DBT FD I COM 61744H105 1157 128391 SH SOLE 0 0 128391 NEWPARK RES INC COM PAR $.01NEW 651718504 82 28000 SH SOLE 0 0 28000 NOVARTIS AG SPONSORED ADR 66987V109 204 2336 SH SOLE 0 0 2336 NUCOR CORP COM 670346105 347 3040 SH SOLE 0 0 3040 NUVEEN AMT FREE MUN CR INC F COM 67071L106 190 10582 SH SOLE 0 0 10582 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 210 32395 SH SOLE 0 0 32395 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 269 17765 SH SOLE 0 0 17765 NUVEEN QUALITY MUNCP INCOME COM 67066V101 357 22172 SH SOLE 0 0 22172 NVIDIA CORPORATION COM 67066G104 213 724 SH SOLE 0 0 724 ONEOK INC NEW COM 682680103 229 3903 SH SOLE 0 0 3903 OWL ROCK CAPITAL CORPORATION COM 69121K104 172 12134 SH SOLE 0 0 12134 PEPSICO INC COM 713448108 1246 7171 SH SOLE 0 0 7171 PFIZER INC COM 717081103 1450 24552 SH SOLE 0 0 24552 PROCTER AND GAMBLE CO COM 742718109 574 3508 SH SOLE 0 0 3508 PROSHARES TR S&P MDCP 400 DIV 74347B680 326 4428 SH SOLE 0 0 4428 PUTNAM MANAGED MUN INCOME TR COM 746823103 366 41746 SH SOLE 0 0 41746 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1489 348700 SH SOLE 0 0 348700 REALTY INCOME CORP COM 756109104 730 10198 SH SOLE 0 0 10198 RLJ LODGING TR CUM CONV PFD A 74965L200 321 11150 SH SOLE 0 0 11150 SALESFORCE COM INC COM 79466L302 369 1452 SH SOLE 0 0 1452 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 204 1806 SH SOLE 0 0 1806 SHOPIFY INC CL A 82509L107 296 215 SH SOLE 0 0 215 SIRIUS XM HOLDINGS INC COM 82968B103 146 23000 SH SOLE 0 0 23000 SPDR S&P 500 ETF TR TR UNIT 78462F103 263 554 SH SOLE 0 0 554 SPDR SER TR BLOOMBERG CONV 78464A359 388 4672 SH SOLE 0 0 4672 SPDR SER TR PORTFLI TIPS ETF 78464A656 3032 96247 SH SOLE 0 0 96247 STRYKER CORPORATION COM 863667101 267 1000 SH SOLE 0 0 1000 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 706 17282 SH SOLE 0 0 17282 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 204 10588 SH SOLE 0 0 10588 TESLA INC COM 88160R101 851 805 SH SOLE 0 0 805 TRI CONTL CORP COM 895436103 414 12474 SH SOLE 0 0 12474 TRITON INTL LTD CL A G9078F107 764 12678 SH SOLE 0 0 12678 TWITTER INC COM 90184L102 238 5500 SH SOLE 0 0 5500 UBER TECHNOLOGIES INC COM 90353T100 696 16608 SH SOLE 0 0 16608 UNITED PARCEL SERVICE INC CL B 911312106 461 2152 SH SOLE 0 0 2152 UNITI GROUP INC COM 91325V108 167 11954 SH SOLE 0 0 11954 US BANCORP DEL COM NEW 902973304 1203 21417 SH SOLE 0 0 21417 VALERO ENERGY CORP COM 91913Y100 363 4839 SH SOLE 0 0 4839 VANECK ETF TRUST HIGH YLD MUNIETF 92189H409 252 4040 SH SOLE 0 0 4040 VANGUARD INDEX FDS GROWTH ETF 922908736 352 1097 SH SOLE 0 0 1097 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 283 1886 SH SOLE 0 0 1886 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 247 2131 SH SOLE 0 0 2131 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 240 4665 SH SOLE 0 0 4665 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 845 16556 SH SOLE 0 0 16556 VERIZON COMMUNICATIONS INC COM 92343V104 605 11652 SH SOLE 0 0 11652 VIRTUS DIVIDEND INTEREST & P COM 92840R101 266 16543 SH SOLE 0 0 16543 VISA INC COM CL A 92826C839 424 1958 SH SOLE 0 0 1958 WALGREENS BOOTS ALLIANCE INC COM 931427108 222 4263 SH SOLE 0 0 4263 WALMART INC COM 931142103 1594 11014 SH SOLE 0 0 11014 WELLS FARGO CO NEW COM 949746101 1163 24235 SH SOLE 0 0 24235 WESTERN ASSET EMERGING MKTS COM 95766A101 277 21616 SH SOLE 0 0 21616 WESTERN ASSET HIGH INCOME OP COM 95766K109 56 10857 SH SOLE 0 0 10857 WESTERN ASSET MTG DEFINED OP COM 95790B109 514 33779 SH SOLE 0 0 33779 ZOETIS INC CL A 98978V103 750 3074 SH SOLE 0 0 3074